Scope of the Role
The Compliance Officer is responsible in compliance and reporting as required under SEBI PMS regulation - Prepare and submit required monthly, quarterly, annual regulatory and compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.Looking for candidates experienced in handling the Compliance, Legal, and Secretarial functions in allied industries and have a working knowledge of SEBI. Certified Company Secretary, Chartered Accountant or a law degree will be an added advantage. Candidate must possess excellent MS Office knowledge.
Job Description
1) Ongoing compliance and reporting as required under SEBI PMS regulation - Prepare and submit required monthly, quarterly, annual regulatory and compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.
2) Oversee compliance with internal team members and external auditors on matters relating to MCA, General & Sales Tax, Income Tax, Labour Laws, Information Security, Trademark and all other matters that ensures our compliance with the law of land.
3) Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.
4) Monitoring of AML/FATCA compliance and its timely reporting to authorities.
5) Collaborate with internal team members to provide guidance on compliance-related matters.
6) Drafting and vetting legal documents, policies, and standard operating procedures on a periodic basis.
Ideal Candidates
Ideal candidate must have at least 3 years experience as a compliance officer with any wealth management, broking, AMCs with excellent understanding about the various regulations of SEBI on PMS products.